Research Reporting Policy

This policy applies to all staff and students of the University.

This policy sets out reporting requirements for principal investigators (PI) who are funded via internal or external research contracts and grants, to ensure the contract requirements are met, the University’s risks are minimised, and the prospects for future funding are enhanced.

1. PIs must ensure they meet the reporting requirements associated with any research funding they are awarded in a timely manner, whether that funding is from the University or an external agency.

2. PIs who are awarded external grants or research contracts are responsible for meeting the reporting requirements of the external funding agency and for ensuring that all required reports, signed by the Dean (or his/her delegate) are provided to the Research Office or UniServices at least seven days prior to the external agency’s due date.

3. PIs who are awarded internal grants or awards for research – such as, but not limited to Faculty Research Development Fund grants, Early Career Research Excellence Awards, Distinguished Visitor Awards and Strategic Research Initiatives Fund grants – are responsible for meeting the reporting requirements of the internal fund within the time period specified for that fund.

4. Absence due to annual or sabbatical leave, or lack of delivery as a result of inactivity on the project, is not acceptable as a reason for late submission.

5. The content and accuracy of reports to funders is the responsibility of the PI for the grant/contract.

6. As research grant reports may be used for reporting purposes and could become public documents, confidential or other sensitive information is not to be included in a report if doing so would jeopardise privacy requirements or the opportunity to exploit any intellectual property ownership rights.

7. Detailed information on the process and timing for submitting external reports, and links to the reporting requirements of internal funds, are set out in the Research Guide for Staff.

The following definitions apply to this document:

Principal investigator (PI) is the named researcher responsible for carrying out the research and delivering the outputs relating to a funded research project.

University means the University of Auckland and includes all subsidiaries.

Include the following:

• Intellectual Property Created by Staff and Students Policy
• Balances Of Research Project Accounts At Project End Date Policy
• Research Guide for Staff
• FRDF Guidelines
• SRIF Guidelines
• All other University-sponsored funding guidelines
• Code of Conduct for Research

Prepared by: Vice-Chancellor’s Office
Owned by: Deputy Vice-Chancellor (Research)
Approved by: Vice-Chancellor
Date approved: December 2014
Review date: December 2019